Notice of Commission Deemed Approval – Housekeeping Amendments to Mutual Fund Dealer Form 1 – Canadian Investment Regulatory Organization (CIRO)

The Ontario Securities Commission did not object to CIRO’s proposed housekeeping amendments to Part II – Report on compliance for insurance and segregation of cash and securities and other audit reports in the Mutual Fund Dealer Form 1 (Housekeeping Amendments). The objectives of the Housekeeping Amendments are to ensure compliance with CSRS 4400 auditing standards and to conform to audit reports with the current legal names of the self-regulatory organization and investor protection fund. As a result, the Housekeeping Amendments were deemed approved or non-objected to.

The Housekeeping Amendments will be effective immediately, on October 26, 2023.

In addition, the Alberta Securities Commission; the Autorité des marchés financiers; the British Columbia Securities Commission; the Financial and Consumer Affairs Authority of Saskatchewan; the Financial and Consumer Services Commission of New Brunswick; the Manitoba Securities Commission; the Northwest Territories Office of the Superintendent of Securities; the Nova Scotia Securities Commission; the Nunavut Office of the Superintendent of Securities; the Office of the Superintendent of Securities, Digital Government and Services, Newfoundland and Labrador; the Office of the Yukon Superintendent of Securities; and the Prince Edward Island Office of the Superintendent of Securities (together with the Ontario Securities Commission, the Recognizing Regulators) did not object to the classification of the Housekeeping Amendments and therefore the Housekeeping Amendments were deemed approved or non-objected to.

A copy of the CIRO Notice of Approval/Implementation , including the text of the approved Housekeeping Amendments, is also published on our website at www.osc.ca.